コンダクト＆オペレーショナルリスク担当バイスプレジデント/ VP Conduct & Ops Risk

A multinational asset management company is looking for a Vice President, Japan Asset Management Compliance, Conduct & Operational Risk. The selected candidate will oversee compliance, conduct risk, operational risk, regulatory engagement, licensing matters, and governance initiatives while supporting a strong culture of accountability and regulatory excellence.

Responsibilities:

• Coordinate regulatory examinations, surveys, inquiries, and other regulatory engagements
• Provide guidance on licensing and registrations with regulatory and industry bodies
• Advise on privacy, local firewall, and employee compliance matters
• Assess operational risks and control environments through the operational risk management framework
• Support legal entity risk assessments and review control effectiveness and emerging risks
• Review escalations, control issues, remediation measures, and root cause analyses
• Facilitate compliance and conduct risk training programmes
• Partner with stakeholders to strengthen governance, controls, and continuous improvement initiatives

Requirements:

• Bachelor’s degree or above in Law, Business, Finance, or a related field
• More than 10 years of experience in Compliance, Conduct Risk, Operational Risk, Audit, or Business Control Functions within an asset management company, bank, or securities firm
• Experience managing regulatory examinations and engagements
• Extensive knowledge of financial regulations and self-regulatory organisation rules relevant to asset management businesses and products
• Proven ability to partner with business leaders and promote compliance and conduct risk awareness
• Possess a valid Japan Securities Dealers Association Internal Administrator Qualification (Naibu Kanri Sekinis-sha)
• Proficient in Japanese and English

Preferred requirements:

• Ability to utilise technology tools such as large language models, Alteryx, or Python
• Experience delivering compliance and conduct risk training

About the Company:

The company is a global leader in asset management and financial services. It operates in highly regulated markets and is committed to strong governance, risk management, and compliance standards.

Keywords:

資産運用, コンプライアンス, オペレーショナルリスク, コンダクトリスク, 金融規制, リスク管理, ガバナンス, 内部統制, 監査対応, 規制対応, 求人, 外資系

Job Ref: 7P3M25